Administrative Guidelines

for Campus Alumni Associations and Constituency Alumni Groups

PART ONE: CAMPUS ALUMNI ASSOCIATIONS
I. OFFICIAL RECOGNITION OF A CAMPUS ALUMNI ASSOCIATION

A. A Chancellor may recognize as the Campus Alumni Association a single campus-

wide organization that has the following characteristics:

1. is organized and operated solely for the benefit of the University and its alumni;
2. has as its purpose providing service and support to its members, the alumni of the
campus, and to the University; and
3. is the umbrella organization for the constituency alumni groups of the campus.
B. An organization that desires to be recognized as the University-wide alumni
association may be accorded such recognition by the President of the University
under the terms and conditions of these guidelines and upon such other terms and
conditions as the President may specify from time to time.
C. The following ten campus alumni associations of the University of California were
in existence and were operating in conformity with these Guidelines as of the date of
issuance. By virtue of that fact, they are deemed to have been accorded de facto
recognition as the Campus Alumni Associations by their respective Chancellors.
(Listed in order of their founding dates):

California Alumni Association UCR Alumni Association

1 Alumni House
Berkeley, California 94720-7520
Alumni Associations of UCSF
44 Montgomery Street, Suite 910
San Francisco, CA 94104-4602
Cal Aggie Alumni Association
One Shields Avenue
Davis, California 95616-8517
UCLA Alumni Association
James West Alumni Center
Box 951397
Los Angeles, CA 90095-1397
UCSB Alumni Association
Mosher Alumni House
Santa Barbara, CA 93106-1120
2203 Alumni & Visitors Center
900 University Avenue
Riverside, CA 92521-0110
UCSD Alumni Association
202 University Center
9500 Gilman Drive
La Jolla, CA 92093-0083
UCI Alumni Association
Phineas Banning Alumni House
Irvine, CA 92697-1225
UCSC Alumni Association
Carriage House
1156 High Street
Santa Cruz, CA 95064-1077
UCM Alumni Association
P.O. Box 2039
Merced, CA 95344

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 D. Compliance with the University's Policy on Support Groups, Campus Foundations
and Alumni Associations (hereinafter referred to as “the Policy”), and the
Administrative Guidelines for Campus Alumni Associations (hereinafter referred to
as “the Guidelines”) is a condition of continued recognition. A copy of these
guidelines will be given to all members of the Campus Alumni Association's
governing board upon the issuance of these guidelines and whenever a new member
of the governing board takes office.

E. To obtain and maintain recognition, Campus Alumni Associations shall submit the
following to the Chancellor (or designee) on an annual basis or otherwise as
specified by the Chancellor:

1. A current list of officers, members of the Board of Directors (or other governing
board) and the principal contact person for the organization;

2. A statement of the organization’s purpose and goals and/or enabling

documents (i.e., bylaws, constitution, articles of incorporation or other
governing document);

3. A current roster of names and addresses of donors and members, unless

such records are otherwise maintained by the University;

4. A statement signed by the officers/representatives of the organization that the

Board of Directors (or governing body) has read and formally voted that
it will comply with the Policy and these Guidelines;

5. For a separately incorporated, tax-exempt organization, a copy of the

organization’s most recent Internal Revenue Service Form 990 and
annual financial statements;

6. For a separately incorporated, tax-exempt organization, a list of the types

of activities, including fundraising drives, the organization intends to undertake
and how the organization intends to financially support these activities; and

7. For a separately incorporated, tax-exempt organization, with accounts at any

financial institution, subject to the approval requirements set forth in IV.G. below,
a list identifying all such accounts, including the institution’s name and
address, the organization’s account numbers, and a statement signed by an
appropriate officer or representative of the organization authorizing the
University to obtain upon request from the financial institution information,
records, or photocopies of transactions relating to the account(s).

F. The following privileges may be granted by the Chancellor to a recognized

Campus Alumni Association:

1. Use of the name and unofficial seal of the University;

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 2. Use of University space, equipment, administrative services and staff in
performance of an Association's recognized activities; and

3. Use of the University's investment and legal services, subject respectively

to approval by the Treasurer and the General Counsel of The Regents.

G. Under the authority of the Chancellor, recognized Campus Alumni Associations

may be assigned the responsibility of ensuring that all geographical and special
interest chapters of the central alumni association as well as recognized
Constituency Alumni Groups (defined in Part Two, following) are in compliance
with the Policy and these Guidelines.

H. Recognition of Campus Alumni Associations agreeing to these Guidelines and

meeting the criteria set forth herein shall not be withdrawn or denied by the
Chancellor except for non-compliance with these Guidelines.

II. ORGANIZATION OF CAMPUS ALUMNI ASSOCIATIONS

A. Campus Alumni Associations are currently organized and operated either as (a)
administrative units of the University and/or (b) as separately organized and
operated California nonprofit, public benefit corporations. All separately
incorporated Campus Alumni Associations shall obtain and maintain status as tax-
exempt organizations under state and federal corporate and tax laws.

B. The Chancellor or an individual designated by the Chancellor shall be an ex

officio member of the governing board.

C. Chancellors are responsible for determining that Campus Alumni Associations,

whether or not separately incorporated, are in compliance with the Policy and
these Guidelines and have authority to require Campus Alumni Associations to
provide written evidence of compliance.

D. Chancellors may establish additional written campus policies, guidelines and

delegations governing Campus Alumni Associations consistent with the Policy
and these Guidelines, as deemed necessary. Copies of such policies, guidelines,
delegations and any amendments thereto shall be forwarded promptly upon their
issuance to the President and all affected entities.

E. A Campus Alumni Association shall comply with University policies pertaining

to use of the University's name and seal and related delegations of authority.

III. FUNDRAISING BY CAMPUS ALUMNI ASSOCIATIONS

A. Fundraising campaigns proposed by a Campus Alumni Association shall be

approved in advance in writing by the Chancellor or designee, the President, or
The Regents as provided in pertinent University or campus policies and

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 delegations of authority. The solicitations of annual or life membership dues do
not require such advance approval and are not to be construed as “fundraising”
within the meaning of these Guidelines. All fundraising campaigns shall be
coordinated through the campus development office. Alumni Associations may
accept gifts, provided they abide by the investment policies found in IV.E. of
these guidelines. Campus Alumni Associations should acknowledge and thank
donors who have made gifts for their benefit.

B. A Campus Alumni Association shall advise donors that any restrictive terms and
conditions attached to gifts for the University are subject to University approval.

C. All gifts for the benefit of a Campus Alumni Association shall be reported by the
campus or the Campus Foundation to the Chancellor.

D. University Policies Affecting Alumni Associations

1. Among University policies relating to fundraising campaigns and

solicitation and acceptance of gifts, grants and contracts, the following
documents also apply to Campus Alumni Associations and shall be
observed:

a. Presidential Delegation of Authority -- To Approve and Conduct

Fundraising Campaigns; May 26, 1994 (DA 2018).

b. Presidential Delegation of Authority -- Policy to Permit Use of the

University’s Name; May 3, 1985 (DA 0864).

c. Presidential Delegation of Authority -- Policy to Permit Use of the

Unofficial Seal; May 3, 1985 (DA 0865).

d. Presidential Delegation of Authority -- To Solicit and Accept

Gifts; March 23, 1994 (DA 2011).

e. Presidential Policy -- Policy on the Requirements to Submit

Proposals and to Receive Awards for Grants and Contracts through
the University; December 15, 1994.

IV. FINANCIAL ACTIVITIES OF CAMPUS ALUMNI ASSOCIATIONS

A. Financial Control: In the case of a Campus Alumni Association that is organized

and operated administratively as a unit of the University, all University financial
control policies and procedures shall be followed.

For a separately incorporated Campus Alumni Association, financial activities

shall be administered and reported to its board in accordance with prudent
business practices, generally accepted accounting principles and these Guidelines.

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 B. State General Funds: State General Funds shall not be transferred to a separately
incorporated tax-exempt Campus Alumni Association. Payments for value
received are permitted but gifts or unrestricted grants are not.

C. Reports of Expenditures: Within 180 days of the close of each fiscal year, a
separately incorporated tax-exempt Campus Alumni Association shall submit to
the Chancellor and the President a detailed report comparing budgeted to actual
expenditures by fund source. Upon request, a separately incorporated tax-exempt
Campus Alumni Association shall submit through the Chancellor to the President,
within 30 days of such request, a detailed financial report.

D. Bonding and Insurance: For a separately incorporated tax-exempt Campus

Alumni Association, the governing board shall make an express determination of
the appropriateness, necessity and amounts of any bonds for officers and staff
members. General liability and directors’ and officers’ liability insurance also
shall be obtained in amounts determined annually by the governing board to be
reasonable, appropriate and necessary.

E. Investment of Endowments: Endowments held for the benefit of Campus Alumni

Associations shall be invested either (1) through the Office of the Treasurer of
the Regents, or (2) with permission of the Chancellor, through the Campus
Foundation.

F. Funds for Support of University Departments: Restricted funds received or

unrestricted funds (including investment payout) allocated for support of
University departments or programs shall be transferred at least annually to the
University (unless otherwise provided by the Chancellor), administered in
accordance with University policies, and expended from University department or
program accounts.

Contracts, grants, clinical trials or specific research projects funded by external

sponsors must be entered into directly by the University and the research sponsor,
not through a Campus Alumni Association. Gifts designated for a specific
research project or a specific researcher, or otherwise intended to support research
activities, may be made only to The Regents or the Campus Foundation and must
conform to applicable University policies and procedures. This process will
enable the University to comply with the State of California Political Reform Act
requiring disclosure by the faculty member of any financial interest in the donor.
A Campus Alumni Association may not be used as a vehicle to avoid such
requirements.

G. Bank Accounts: Only the following expenditures for separately incorporated tax-
exempt Campus Alumni Association activities may be made from such accounts:

1. Payments for goods and services including salaries of staff, but only when
the Campus Alumni Association has its own staff and does not use

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 University employees in that capacity, provided such goods and services
are in connection with official activities of the separately incorporated tax-
exempt Campus Alumni Association;

2. Payments for audit, tax preparation, or legal fees;

3. Payments to donors to refund contributions as permitted by law, or to

return overpayments pursuant to a donor's request;

4. Payments to other organizations of donations or other remittances made in

error;

5. Transfers to the University or the Campus Foundation; and

6. Legally appropriate payments from its bank account to support ballot

measures clearly beneficial to the University, as described in Section IV,
P below, and endorsed by The Regents.

H. Disbursements: All disbursements on behalf of a separately incorporated tax-

exempt Campus Alumni Association shall be approved by a duly appointed
Campus Alumni Association officer. The governing board of the separately
incorporated tax-exempt Campus Alumni Association shall specify an amount
beyond which checks must bear the signatures of two persons designated by that
governing board.

I. Financial Statements: Financial statements and expenditures by a separately

incorporated tax-exempt Campus Alumni Association shall be in accordance with
pertinent University policies and guidelines or explicitly written Campus Alumni
Association policies, with detailed budgets approved by the Campus Alumni
Association's governing board.

J. Payments to University Employees: A Campus Alumni Association shall not (a)

directly or indirectly employ, (b) supplement the salary of, or (c) provide any
consulting fees, loans, or perquisites to University employees outside of
established University of California personnel policies and practices, including
the University policy concerning senior management automobiles. Campus
Alumni Associations may establish a gift fund with The Regents from which
University employees may receive payments in accordance with University
personnel policies, procedures and practices.

K. Payments to Trustees: Except for reimbursement for expenses incurred on its

behalf, a Campus Alumni Association shall not pay any salaries, consulting fees,
loans, or perquisites to a Campus Alumni Association trustee, director, officer, or
volunteer without the Chancellor's prior written approval, with copies to the
President.

L. Deposit of Gifts to the University: University funds or gifts payable to The

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 Regents or to any other University entity shall not be deposited with or transferred
to a separately incorporated tax-exempt Campus Alumni Association.

M. Solicitation Literature: When a fundraising campaign has been approved by the

Chancellor, a separately incorporated tax-exempt Campus Alumni Association’s
solicitation literature shall make it clear when gifts are to be made payable to the
Campus Alumni Association. Each separately incorporated tax-exempt Campus
Alumni Association shall develop a procedure to document when gifts intended
for it have erroneously been made payable to a University entity and, when such
documentation is possible, the University may issue an exchange check to a
Campus Alumni Association.

N. Gift Fees: If charges against gifts or payout therefrom are to be made for costs of
administering a gift to the Campus Alumni Association, the Campus Alumni
Association shall include in its literature a statement to that effect. Such charges
shall be approved by the Chancellor and the Campus Alumni Association’s
governing board, and the nature of such charges shall be disclosed in the Campus
Alumni Association's audited financial statement.

O. Report to Registry of Charitable Trusts: Complete copies of the separately tax-

exempt incorporated Campus Alumni Association's full report to the State
Registry of Charitable Trusts shall be provided each year by the Campus Alumni
Association to the Chancellor, at the time the report is filed with the State
Registry of Charitable Trusts, if any such filing is required by the State Registry
of Charitable Trusts.

P. Political Activities: No substantial part (as those terms are used pursuant to the
Internal Revenue Code and Regulations) of the activities of a Campus Alumni
Association shall attempt to influence legislation, or participate or intervene in
any political campaign in support of or opposition to legislation. No part of those
activities may be on behalf of any candidate for public office. However,
advocacy on behalf of the University is permitted if it is consistent with the
legislative, budgetary and electoral objectives of the University, endorsed by The
Regents, pursued in coordination with the Chancellor and the President of the
University, consistent with applicable state law, the Internal Revenue Code and
Regulations, and in accordance with the Articles and Bylaws of the Campus
Alumni Association.

Q. Conflicts of Interest: Business transactions involving the Campus Alumni

Association and the personal or business affairs of a trustee, director, officer, or
staff member shall be approved in advance by the governing board. In addition,
trustees, directors, officers and staff members of a Campus Alumni Association
shall disqualify themselves from making, participating in making, or in any way
attempting to use their official positions to influence a decision in which they
have or would have a financial interest, as defined by University policy.

R. Acceptance of Gifts: No director, trustee, officer, or staff member of a Campus

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 Alumni Association shall accept from any source any gift or gratuity that is
offered or reasonably appears to be offered because of the position held by the
individual with the Campus Alumni Association.

Gift or gratuity means any payment received to the extent that consideration of
equal or greater value is not given. It does not include informational material,
such as books, reports, calendars, or other unsolicited promotional material. A
gift does not include modest entertainment expenditures, such as a meal or
refreshments, in connection with meetings, conferences, or public ceremonies, or
home hospitality. This provision applies to the individual and does not apply to
gifts offered to or by a Campus Alumni Association as an organization.

S. Services to Constituency Alumni Groups: With the approval of the Chancellor, a

Campus Alumni Association may provide to officially recognized constituency
alumni groups the following, subject to the same conditions pertaining to the
Campus Alumni Association: cash management, disbursement, and accounting
stewardship; gift reporting; and, in appropriate cases, coverage under the Campus
Alumni Association's insurance policies, inclusion in the Campus Alumni
Association's financial statements, external audits and tax reporting, or use of the
Campus Alumni Association's tax identification number.

V. AUDIT OF CAMPUS ALUMNI ASSOCIATIONS

A. A Campus Alumni Association shall upon request permit the President and the
Chancellor (or designee, including the campus Internal Audit Office) to inspect
and audit its books and records, as well as those of its financial institution(s) as
relates to the Campus Alumni Association’s account(s). In addition, a Campus
Alumni Association shall permit the University Auditor and the campus Internal
Audit Office to review directly all bank account records.

B. The governing body of a separately incorporated tax-exempt Campus Alumni

Association that had gross annual revenues less than $500,000 shall provide a
copy of the organization’s annual IRS Form 990 and financial statements to the
Chancellor (or designee) within 180 days of the end of the fiscal year.

C. The governing body of a separately incorporated tax-exempt Campus Alumni

Association that had gross annual revenues between $500,000 and $1 million
shall contract and pay for an annual review of its financial statements prepared by
a reputable independent accounting firm acceptable to the University. Such
review shall be completed within 180 days of the end of the fiscal year.

D. The governing body of a separately incorporated tax-exempt Campus Alumni

Association that had gross annual revenues in excess of $1 million shall contract
and pay for an annual audit for such fiscal year. The audit shall:

1. be conducted by a reputable independent accounting firm;

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 2. include an opinion on the financial statements of the Campus Alumni
Association prepared in accordance with generally accepted accounting
principles as applicable to the nature of the Campus Alumni Association;

3. if applicable, include a supplementary statement that nothing came to the

attention of the auditors that causes them to believe that the Campus
Alumni Association was not in compliance with the Policy and these
Guidelines, noncompliance with which could have a material effect on the
Campus Alumni Association’s financial statements for the fiscal year;

4. include a management letter addressed to the appropriate members of the

Campus Alumni Association’s governing body conveying audit findings
and recommendations, including management’s response to the findings
and recommendations;

5. include written communications with the Campus Alumni Association’s

governing body pursuant to auditing standards; and

6. be completed within 180 days of the end of the fiscal year.

PART TWO: CONSTITUENCY ALUMNI GROUPS

I. RECOGNITION OF CONSTITUENCY ALUMNI GROUPS

A. A Chancellor may recognize as a Constituency Alumni Group an organization

that has the following characteristics:

1. is organized and operated solely for the benefit of the University and the
alumni of a school, college, department, or other campus administrative or
academic units (the “constituent units”); and

2. has as its purpose providing service and support to its members, the
alumni of a constituent unit, and to that unit.

B. A request for recognition will be denied when the Chancellor or designee

determines that:

1. an organization does not serve the best interests of the University;

2. recognition of an organization is not consistent with campus priorities and

programs; and/or

3. an organization does not meet the required terms of recognition.

C. The President, Chancellor or designee may grant privileges to a recognized

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 constituency alumni group, including authorization to use the name of the
University, a campus, or the institutional unit involved, and to use space,
equipment, and staff support in the performance of its recognized support
activities. Without such authorization, no group may:

1. represent itself as raising funds or otherwise providing support on behalf

of or for the benefit of the University, or any part of it;

2. use the name of the University or any of its campuses, facilities, or

programs, either expressly or by implication in connection with such
activities; or

3. use University facilities, equipment, or personnel in connection with such

activities.

D. The President or the Chancellor (or designee), as appropriate, will notify in

writing a responsible officer of each constituency alumni group that compliance
with the Policy and these Guidelines is a continuing condition of recognition. A
written acknowledgment of that condition is required from a constituency alumni
group officer authorized to commit the constituency alumni group.

E. Chancellors have the authority to take reasonable steps to ensure that all
recognized constituency alumni groups are in compliance with the University’s
Policy and these Guidelines. The Chancellor may designate a Campus Alumni
Association or another campus entity as having that responsibility. For initial
recognition, a constituency alumni group must submit the following to the
Campus Alumni Association or Chancellor’s designee:

1. A current list of officers, members of the Board of Directors (if any) and
the principal contact person for the organization;

2. A statement of the organization’s purpose and goals and/or enabling

documents (i.e., bylaws, constitution, articles of incorporation or other
governing document);

3. A current roster of names and addresses of donors and members, unless

such records are otherwise maintained by the University;

4. A statement signed by the officers/representatives of the organization

stating that the Board of Directors (or the governing body) has read and
formally voted that it will comply with the Policy and these Guidelines;

5. For a tax-exempt organization with an external bank account, a copy of

the organization’s most recent Internal Revenue Service Form 990 and
annual financial statements; and

6. A list of the types of activities, including fundraising and membership

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 drives, the organization intends to undertake and how the organization
intends to financially support these activities.

F. For continued recognition, a constituency alumni group shall submit the following
to the Campus Alumni Association or to the Chancellor’s designee on an annual
basis:

1. An updated list of officers, members of the Board of Directors (if any) and
the principal contact person for the organization;

2. Any changes to the organization’s structure, purpose and goals, and/or

enabling documents (i.e., bylaws, constitution, articles of incorporation or
other governing document);

3. An updated roster of names and addresses of donors and members, upon

request of the Chancellor (or designee);

4. A statement signed by the officers/representatives of the organization

stating that the Board of Directors (or the governing body) has read and
formally voted that it will continue to comply with the Policy and these
Guidelines;

5. For a tax-exempt organization with an external bank account, a statement

of revenues and expenses (and net income) for the last fiscal year and a
copy of the organization’s annual Internal Revenue Service Form 990 and
financial statements; and

6. For approval by the President, the Chancellor, or the Chancellor’s

designee, an annual plan of fundraising, membership drives and other
activities for the ensuing fiscal year and how the organization will
financially support these activities.

G. If a constituency alumni group does not comply with these Guidelines, the
Campus Alumni Association or the Chancellor’s designee shall by written notice
require the constituency alumni group to comply within 90 days or recognition as
a constituency alumni group will be withdrawn.

1. In the event the group fails to comply within the time period specified by
the Chancellor (or designee) upon recommendation of the Campus Alumni
Association, the Chancellor may withdraw the constituency alumni
group’s official recognition and take all necessary actions in that regard.
In appropriate circumstances, the Chancellor may extend the period for
compliance when action to remedy noncompliance is in progress.

2. Upon withdrawal of recognition, the assets of the constituency alumni

group shall be transferred to the parent alumni association, The Regents of
the University of California or the Campus Foundation, as designated by

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 the Chancellor, for purposes consistent with the terms of individual gifts
and purposes of the constituency alumni group. In the event the
constituency alumni group fails within a reasonable time period under the
circumstances to transfer its assets, the General Counsel of the Regents
shall take such legal action as may be necessary to compel transfer.

II. ORGANIZATION OF CONSTITUENCY ALUMNI GROUPS

A. A constituency alumni group shall be organized and operated administratively as

a unit of the University. A new constituency alumni group may not be separately
organized and incorporated. A constituency alumni group must be sponsored by
or registered with a Campus Alumni Association or the Chancellor’s designated
representative. All University of California policies and procedures regarding
financial control, including these Guidelines, shall apply to such organizations. A
constituency alumni group shall be organized and at all times operate so that
contributions to it or to the University or the Campus Foundation shall be deemed
tax deductible charitable contributions under relevant provisions of state and
federal tax law.

B. Each constituency alumni group’s enabling documents shall include a clause

providing that in the event of dissolution, its assets shall be distributed to the
parent alumni association, The Regents of the University of California or to the
Campus Foundation, provided that The Regents and/or the Campus Foundation
remain a qualified charitable organization under relevant state and federal income
tax laws.

C. A constituency alumni group representing a school, college, department or other

academic or administrative unit shall secure the sponsorship of the school,
college, department or other academic or administrative unit involved. The
administrative head of the sponsoring unit shall serve as an ex officio member of
the governing board of the constituency alumni group and of any executive or
similar committee empowered to act for the governing board of the constituency
alumni group.

III. FUNDRAISING BY CONSTITUENCY ALUMNI GROUPS

Fundraising activities of constituency alumni groups are governed by the guidelines

applicable to Campus Alumni Associations as set forth in Part One, Section III, above.

IV. FINANCIAL ACTIVITIES OF CONSTITUENCY ALUMNI GROUPS

Financial activities of constituency alumni groups are governed by the guidelines

applicable to Campus Alumni Associations as set forth in Part One, Section IV, above.

V. AUDIT OF CONSTITUENCY ALUMNI GROUPS

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 The audit requirements of constituency alumni groups are governed by the guidelines
applicable to Campus Alumni Associations as set forth in Part One, Section V, above.

PART THREE: WAIVER OF PROVISIONS OF GUIDELINES BY PRESIDENT

For good cause and to address circumstances particular to a campus, Chancellors may
request that the President waive some provisions of these Guidelines for a particular
group or groups on that campus. Such waiver shall be in writing and shall specify the
reasons for the waiver. Any waiver will be subject to such terms and conditions as
deemed advisable by the President.

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